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FIA Law and Compliance Division Presents:
Conference on the Regulation of Futures, Derivatives and OTC Products
Thursday, May 14, 2009 at 2:00 PM
9. Customer Funds and Bankruptcy: Where is My Money?

Baltimore Ballroom 1/2


This session will discuss issues relating to customer funds placed with a combined Broker-Dealer/FCM that are used to trade futures and securities in the global markets. The panel will discuss the interplay of SIPC and the FCM bankruptcy rules and will compare customer protection regimes in the U.S. and U.K. with respect to customer funds in the context of the respective bankruptcy regimes. This session will address the issues that arose in connection with the sale of Bear Stearns and the Lehman bankruptcy, as well as the Sentinal and Reserve Fund matters.

Ronald Filler, Professor of Law & Director, Financial Services Law, New York Law School

G. Timothy Plews, Partner, Clifford Chance
Kenneth Rosenzweig, Partner, Katten Muchin Rosenman
Randall Roy, Branch Chief, Division of Trading and Markets, U.S. Securities and Exchange Commission
Josephine Wang, General Counsel, Securities Investor Protection Corporation
Robert Wasserman, Associate Director, Division of Clearing and Intermediary Oversight, Commodity Futures Trading Commission

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